This episode takes a slightly different approach!  Listen in as TRADEliance discusses the difference between best ex, fair pricing and reasonable compensation while highlighting some cases that support these differences.  

  • Best Execution:  How is the Order Handled ?
  • Fair Pricing: What is the actual price to the client?
  • Reasonable Compensation: What is the BD entitled to charge for that trade?
  • Are you supervising these topics separately?

The disciplinary cases discussed in this episode are listed below:

  • Best Execution Case #1
  • Best Execution Case #2
  • Best Execution Case #3
  • Fair Pricing Case #4
  • Fair Pricing Case #5
  • Reasonableness of Compensation Case #6
  • Reasonableness of Compensation Case #7

Enjoy!

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See All 14 Episodes of "Fines and Wines"